Broker-Dealers Articles

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Finra, States Mull New System To Clean Up Brokers' Records

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Finra and Nasaa have been engaged in preliminary discussions about whether to revamp the process that most brokers use for requesting "expungements."

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UBS Tells Brokers To Keep Selling Risky Puerto Rico Funds

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UBS is sticking with its recommendations that some clients buy risky Puerto Rico closed-end bond funds, despite hundreds of arbitration claims by investors, says an internal document.

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Morgan Stanley's Brokers Pull In Fewer Fee-Based Assets

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Morgan Stanley's wealth management customers added far less money to their fee-based accounts in the third quarter than earlier this year, despite the firm's promotion of the lucrative accounts.

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Do Wall Street Arbitrators Go Easy On Discovery Violations?

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A former UBS AG branch manager's pay discrimination case in Puerto Rico highlights behavior some lawyers say can give brokerages an edge in arbitration: breaking discovery rules.

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Brokers Stick To 'Wait It Out' Script As Markets Plunge

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The stock market quaked on Wednesday after a week of tremors, but financial advisors and stockbrokers stuck largely to their scripts.

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Wall Street’s Chief Bull Says 2,300 S&P Call ‘Catching Up to Us’

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In mid-August, Stifel Nicolaus & Co.’s top equity strategist Barry Bannister went from the biggest bear on U.S. equities to its biggest bull. It might have been too soon, he says.

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LPL Financial To Reimburse Annuity-Switching Fees To Investors

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LPL Financial has agreed to reimburse more than half a million dollars to investors to settle complaints over switching annuities, a securities regulator said

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Morgan Stanley Bankers Poised For Biggest Bonus Bump

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Bond traders at JPMorgan Chase & Co. and Citigroup Inc. face the fastest-shrinking bonus pools on Wall Street this year, while Morgan Stanley investment bankers head for the greatest gains.

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JPMorgan Hackers Said To Probe 13 Financial Firms

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The hackers who raided the data banks of JPMorgan Chase & Co...

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Merrill Team Ordered To Return $6.6 Million In Signing Bonuses

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Two brokers at Merrill Lynch must collectively return more than $6.6 million in signing bonuses to Barclays Capital for leaving the firm's U.S...

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